NFA Rulemaking

We encourage the public to submit comments on the following National Futures Association (NFA) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Chronological List
Third Quarter |  Second Quarter 

NFA File Number List for 2018

Additional Archives

Chronological List for 2018

Release No. Date Details
Third Quarter
SR-NFA-2018-04
34-84076 Sep. 11, 2018 Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to National Futures Association Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts
Comments due: October 9, 2018
Additional Materials: Exhibit 4
SR-NFA-2018-03
34-83589 Jul. 3, 2018 Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts
Comments due: July 30, 2018
Second Quarter
SR-NFA-2018-02
34-83490 Jun. 21, 2018 Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rule 2-9: Enhanced Supervisory Requirements: Requiring NFA Members to Maintain a Record of All Electronic Written Communications
Comments due: July 18, 2018
SR-NFA-2018-01
34-83491 Jun. 21, 2018 Notice of Filing and Immediate Effectiveness of Proposed Technical Amendment to the Interpretive Notice to NFA Compliance Rule 2-9: Special Supervisory Requirements for Members Registered as Broker-Dealers under Section 15(b)(11) of the Securities Exchange Act of 1934
Comments due: July 18, 2018


NFA File Number List for 2018

Release No. Date Details
SR-NFA-2018-04
34-84076 Sep. 11, 2018 Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to National Futures Association Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts
Comments due: October 9, 2018
Additional Materials: Exhibit 4
SR-NFA-2018-03
34-83589 Jul. 3, 2018 Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts
Comments due: July 30, 2018
SR-NFA-2018-02
34-83490 Jun. 21, 2018 Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rule 2-9: Enhanced Supervisory Requirements: Requiring NFA Members to Maintain a Record of All Electronic Written Communications
Comments due: July 18, 2018
SR-NFA-2018-01
34-83491 Jun. 21, 2018 Notice of Filing and Immediate Effectiveness of Proposed Technical Amendment to the Interpretive Notice to NFA Compliance Rule 2-9: Special Supervisory Requirements for Members Registered as Broker-Dealers under Section 15(b)(11) of the Securities Exchange Act of 1934
Comments due: July 18, 2018